“Lancaster Securities” JSC (renamed from “Accept Invest”, JSC)
Portofolio Manager
17.06.2008
05-01-13/3965
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.06.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
17.06.2008
05-01-13/3966
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.06.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Portofolio Manager
09.07.2008
05-01-18/4199
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
11.09.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
10.07.2008
105
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
467 200 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
10.07.2008
104
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
116 800 тг.
The nature of a breach:
1. административное правонарушение выразилось в неоднократном нарушении профессиональным участником рынка ценных бумаг требований, установленных законодательством РК к его деятельности.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
10.07.2008
103
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
116 800 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
29.07.2008
109
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
467 200тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
27.08.2008
122
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
175 200тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Portofolio Manager
27.08.2008
123
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
116 800тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
27.08.2008
05-01-14/4608
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
05.09.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
